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SIE; College Student Home for the Holidays?
In October 2018 FINRA streamlined the qualification exams for occupations in the financial services industry. The traditional Series 7 license has been replaced with FINRA’s Securities Industry Essentials (SIE) Exam […] Read More
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Open Call Report – New FINRA Exam Process
In July 2017 the SEC approved FINRA’s proposed rule change to streamline competency exams and expand opportunities for prospective securities professionals STA Open Call – November 29, 2017 – Call […] Read More
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College Student Home for the Holidays?
New Year’s Eve usually marks the beginning of when parents start counting down the days until their college students return to school. While it’s wonderful to have them home for […] Read More
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2020 Speakers & Moderators
Featured Speakers Bill HuizengaRanking MemberCapital Markets, Securities, and Investment Subcommittee Congressman Bill Huizenga represents Michigan’s 2nd Congressional District which stretches from Kentwood to the lakeshore and up the coast of […] Read More
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Does the World Really Need Another Realtor?
If you recall, we published an article in June 2017 titled, Lawyers vs. Brokers. In that article we make mention of a then recent comment letter STA filed on FINRA’s lapsed license policy […] Read More
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STA Student in Finance
About STA SIF Students who are enrolled full-time as an undergraduate or postgraduate are eligible for STA’s Student in Finance (STA SIF) Membership. STA SIF membership is free and ideal […] Read More
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Open Call Report – SEC FinHub Guidance on “Investment Contracts” & Digital Assets
STA Open Call – April 25, 2019 Call Notes[ SEC FinHub Guidance on Digital Assets Kristin Boggiano, Chief Legal Officer, AlphaPoint Kapil Barthi, Global Head of Trading Markets, AlphaPoint to […] Read More
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STA Affiliates and Women in Finance Partner for National Clothing Drive
NEW YORK 22 March 2016, The Security Traders Association (STA) Women in Finance is pleased to announce a partnership in launching a national clothing drive. STA Affiliates throughout the United […] Read More
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Miracles in the Eye of the Beholder
By Jim Toes, STA Like beauty, miracles are in the eye of the beholder. While we may differ on what constitutes a miracle, we would all agree that miracles offer […] Read More
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2016 Speakers & Moderators
Chair Mary Jo White was sworn in as the 31st Chair of the SEC on April 10, 2013. She was nominated to be SEC Chair by President Barack Obama on Feb. […] Read More